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1558 Enforcement Actions in the U.S. over past 30 days

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FTC enforcements decreased 55% over the past 30 days

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SEC issued enforcements: $37,812,859 over the past 30 days

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50 Final Rules go into effect in the next 7 days

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49 Mortgage Lending docs published in the last 7 days

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1670 docs with extracted obligations from the last 7 days

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new Proposed and Final Rules were published in the past 7 days

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11906 new docs in pro.compliance.ai within the last 7 days

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Enforcement action change
 
  This week - ending Oct 01, 2023
  Most recent 90 days - Jul 03, 2023 - Oct 01, 2023
  Previous 90 days - Apr 03, 2023 - Jul 02, 2023
 

CFPB
100%

    14 docs
 
  7 docs
 

SEC
72%

     
568 docs
 
  331 docs
 

FRS
33%

    8 docs
 
  6 docs
 

FDIC
29%

    22 docs
 
  17 docs
 

CFTC
5%

    41 docs
 
  39 docs
 

FINRA
-2%

    83 docs
 
  85 docs
 

OCC
-38%

    8 docs
 
  13 docs
 

TREAS
N/A

    17 docs
 
  5 docs
 

HUD
N/A

    5 docs
 
  3 docs
 

FINCEN
N/A

    2 docs
 
  1 doc
 

DOJ
N/A

     
 
  5 docs
 

FTC
N/A

     
 
  85 docs
 
See full report     See further insights

This week's documents

SEC 117 Enforcement Documents
$0.0 in Fines
Title: SEC Complaint -- Adam R. Long; L2 Capital, LLC; Oasis Capital LLC
Doc Type: Complaint
Published: 09/29/2023
Violation: -
Penalty: -
Title: Adam R. Long; L2 Capital, LLC; Oasis Capital LLC
Doc Type: Enforcement
Published: 09/29/2023
Violation: -
Penalty: -

See all 117 Documents
FRS 1 Enforcement Document
$0.0 in Fines
Title: Tanner Winterhof VisionBank of Iowa, Ames, Iowa
Doc Type: Prohibition Order
Published: 09/26/2023
Violation: -
Penalty: -

See all 1 Document
FDIC 1 Enforcement Document
$0.0 in Fines
Title: FDIC-20-0155k Shinhan Bank America
Doc Type: Civil Money Penalty
Published: 09/29/2023
Violation: -
Penalty: -

See all 1 Document
CFTC 7 Enforcement Documents
$0.0 in Fines
Title: Order: Interactive Brokers Corp
Doc Type: Enforcement Order
Published: 09/29/2023
Violation: -
Penalty: -
Title: Complaint: Roberto Pulido,et al
Doc Type: Complaint
Published: 09/29/2023
Violation: -
Penalty: -

See all 7 Documents
FINRA 8 Enforcement Documents
$0.0 in Fines
Title: Santander US Capital Markets LLC, formerly known as Santander Investment Securities Inc. AWCs (Letters of Acceptance, Waiver, and Consent)
Doc Type: AWCs (Letters of Acceptance, Waiver, and Consent)
Published: 09/29/2023
Violation: -
Penalty: -
Title: Damian M. Baird Complaints
Doc Type: Complaints
Published: 09/29/2023
Violation: -
Penalty: -

See all 8 Documents
FINCEN 1 Enforcement Document
$0.0 in Fines
Title: In the Matter of Shinhan Bank America
Doc Type: Enforcement Order
Published: 09/29/2023
Violation: -
Penalty: -

See all 1 Document
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